Health and Safety
Executive / Commission
Enforcement Guide
(England & Wales)
being an employer within the meaning of the Health & Safety at Work etc. Act 1974 (“the Act”) they failed to discharge the duty imposed by section 2(1) of the Act, in that they failed to ensure, so far as was reasonably practicable, the health, safety and welfare at work of all their employees, including [named employee(s)], (depending on the case, can include here details of the relevant work and/or the relevant risk), whereby they are guilty of an offence contrary to Section 33(1)(a) of the Act and liable to a penalty as provided by Section 33(1A) of the Act as amended.
being an employer within the meaning of the Health & Safety at Work etc. Act 1974 (“the Act”), they failed to discharge the duty imposed on them by section 3(1) of the Act, in that they failed to conduct their undertaking, namely [details of the undertaking where appropriate], in such a way as to ensure, so far as was reasonably practicable, that persons not in their employment who may be affected thereby, including [name(s) of individuals] were not exposed to risks to their health and safety [details of the relevant risk where appropriate] whereby they are guilty of an offence contrary to Section 33(1)(a) of the Act and are liable to a penalty as provided by Section 33(1A) of the Act as amended.
being a self-employed person within the meaning of the Health & Safety at Work etc. Act 1974 (“the Act”) he failed to discharge the duty imposed on him by section 3(2) of the Act, in that he failed to conduct his undertaking, namely [details of the undertaking where appropriate], in such a way as to ensure, so far as was reasonably practicable, [that he and / or other persons not in his employment who may be affected thereby], including [name(s) of individuals] were not exposed to risks to their health and safety, namely [details of the relevant risk where appropriate], whereby he is guilty of an offence contrary to Section 33(1)(a) of the Act and is liable to a penalty as provided by Section 33(1A) of the Act as amended.
being an employee while at work within the meaning of the Health & Safety at Work etc. Act 1974 (“the Act”) he failed to discharge the duty imposed on him by section 7 of the Act in that he failed to take reasonable care for the health and safety of other persons, including [name(s)], who may be affected by his acts or omissions at work , whereby he is guilty of an offence contrary to Section 33(1)(a) of the Act and is liable to a penalty as provided by Section 33(3) of the Act as amended.
intentionally obstructed an inspector, namely [inspector’s name] (HM Inspector) in the exercise of his/her powers [and/or] duties in that he/she/they [details of the obstruction, eg prevented the inspector from exercising his/her power under section 20(2)(f) of the Health and Safety at Work etc. Act 1974 (“the Act”) to take such measurements as he/she considered necessary for the purpose of their investigation] whereby he/she/they is/are guilty of an offence contrary to Section 33(1)(h) of the Act and liable to a penalty as provided by Section 33(2) of the Act as amended.
Being a director/manager/secretary of [name of body corporate], a body corporate who committed an offence under the relevant statutory provisions, namely [full details of the offence by the body corporate], that offence was committed with his/her consent or connivance or was attributable to his/her neglect, whereby he/she is guilty of that offence pursuant to section 37(1) of the Health & Safety at Work etc. Act 1974 (“the Act”) and is liable to a penalty as provided by section (insert relevant provision of the Act) of the Act.
are/is guilty of an offence pursuant to section 36(1) of the Health and Safety at Work etc Act 1974 (“the Act”) in that the commission of an offence by [name of offender] under the relevant statutory provisions, namely [full details of the offence], was due to their/his/her act or default, whereby they/he/she are/is liable to a penalty as provided by section [insert relevant provision of the Act] of the Act.
being an employer, they/he/she failed to comply with the requirement imposed by section 1(1) of the Employers’ Liability (Compulsory Insurance) Act 1969 (“the Act”) in that, as an employer carrying on business in Great Britain namely [describe the business], they/he/she failed to insure / maintain insurance under one or more approved policies with an authorised insurer or insurers, against liability for bodily injury or disease sustained by their/his/her employees arising out of and in the course of their employment in Great Britain in that business, whereby they/he/she are/is guilty of an offence contrary to section 5 of the Act and liable to a penalty as provided by section 5 of the Act.
being an employer within the meaning of the Health and Safety at Work etc. Act 1974 (“the Act”), they/he/she contravened a requirement of Regulation 3(1)(a) of the Management of Health and Safety at Work Regulations 1999 in that they/he/she failed to make a suitable and sufficient assessment of the risks to the health and safety of their/his/her employees whilst they are at work, in relation to [list the relevant work activity not adequately risk assessed or the relevant risk not adequately risk assessed] for the purpose of identifiying the measures they/he/she need(s) to take to comply with the requirements and prohibitions imposed upon him by or under the relevant statutory provisions, whereby they/he/she are/is guilty of an offence contrary to section 33(1)(c) of the Act and liable to a penalty as provided by section 33(3) of the Act.
being an employer within the meaning of the Health and Safety at Work etc Act 1974 (“the Act”) whose employees were carrying out construction work within the meaning of Regulation 2(1) of the Construction (Health, Safety and Welfare) Regulations 1996 (“the Regulations”), they/he/she contravened the duty imposed by Regulation 4(1) of the Regulations in that, contrary to Regulation 6(1) of the Regulations, suitable and sufficient steps were not taken to prevent, so far as was reasonably practicable, any person falling [include details of the person(s) at risk], whereby they/he/she are/is guilty of an offence contrary to 33(1)(c) of the Act and liable to a penalty as provided by section 33(3) of the Act.
being a designer within the meaning of Regulation 2(1) of the Construction (Design and Management) Regulations 1994 (“the Regulations”), he/she contravened a requirement of Regulation 13(2)(a)(i) of the Regulations, in that he/she failed to ensure that a design prepared by him/her [describe the design], and that he/she was aware would be used for the purposes of construction work, included among the design considerations adequate regard to the need to avoid foreseeable risks to the health and safety of any person at work carrying out construction work in or on the structure at any time, or of any person who may be affected by the work of such a person at work, whereby he/she is guilty of an offence contrary to 33(1)(c) of the Health & Safety at Work etc. Act 1974 and liable to a penalty as provided by section 33(3) of said Act